Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Mccabe (Mccabe), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

The customer alleges that on July 12, 2021, the Registered Representative recommended an unsuitable, high-risk, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Stafford (Stafford), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Stafford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Courtwright (Courtwright), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Courtwright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $197,292.82 on December 19, 2025.

The client alleged that the investment strategy recommended by the advisor between 2020 and 2025 constituted poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Scala (Scala), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scala recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,180,000.00 on December 18, 2025.

The Estate of the Client allege regulation best interest violations took place during the tenure of the account between June 2020 through December 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Skop (Skop), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skop recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $215,990.00 on December 22, 2025.

Claimant, an extremely sophisiticated, experienced, high net worth investor alleges an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pitts (Pitts), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pitts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $900,000.00 on December 22, 2025.

Client alleges the financial professional misrepresented an unsuitable variable annuity contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Desanctis (Desanctis), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Desanctis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $16,549.14 on December 19, 2025.

The client alleged that the rider fees for his RiverSource variable annuities were misrepresented over the last 10 years and unsuitable for a senior investor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 22, 2025.

The client’s attorney alleges unauthorized trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Engelke (Engelke), currently associated with Capitol Securities Management, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Engelke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 17, 2025.

The client alleges unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 13, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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